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Sec Compliance Manager $70,000 jobs

Senior Internal Reporting Accountant
Assists with internal control compliance. Assists with coordination and preparation of periodic forms filed with the SEC (Forms 10Q and 10K)....
Chief Compliance Officer and Investor Services Manager
San Francisco, CA 94111 (Financial District area)
Chief Compliance Officer:. Assure compliance of ASC with all FINRA and SEC Rules, Notices, and Regulations. The Chief Compliance Officer....
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Compliance & Oversight, Senior Associate
Familiarity with FRB regulations and SEC requirements associated with the Financial Services Industry. They are responsible for the independent verification of...
Manager - Wealth Management
Los Angeles, CA 90025
Aspiriant is an Equal Opportunity Employer, and is in compliance with San Francisco’s “Fair Chance Ordinance” (FCO)....

Manager, Global Compliance - Toano/Richmond, Virginia (VA)

Toano, VA 23168
Manager, Global Compliance Operations. Chief Ethics and Compliance Officer. Participate in the management of compliance budget plan....
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SEC Compliance Manager/Director

Louisville, KY 40299 +3 locations
$85,000 - $100,000 a year
The SEC Reporting Manager will also be responsible for creating and auditing internal processes. Robert Half is looking for a SEC Reporting Manager to join a...
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SEC Reporting & SOX Compliance Manager

Milpitas, CA
We currently have an immediate need for a SEC Reporting & SOX Compliance Manager. Report to the Director, Accounting, Reporting and Compliance....

Compliance Manager

Castle Hills, TX
Functional knowledge of SEC regulations and compliance requirements desired. Reviewing and revising, as necessary, all bank, insurance and RIA compliance...

Compliance Manager, Advertising Review

Phoenix, AZ 85012 (Alhambra area)
Compliance Manager – Advertising Supervision. Advertising Review, Compliance Supervision, Suitability, FINRA....

Compliance Manager #521

Tri-Search
United States
Manage all employee and business process compliance activity for the entire company; Work closely with department managers to review all departmental policies...
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SEC Reporting Manager

Sunnyvale, CA
Prepare/compile supporting documents for all SEC filings and ensure all approvals are obtained before filing in compliance with SOX....
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SEC Manager

Brisbane, CA 94005
The SEC Manager will be responsible for:. Reporting to the Associate Director of Finance, the SEC Manager will play a critical role in the completion of the SEC...

Life Compliance Manager - Mercer Island, WA

Mercer Island, WA
May act as SEC Rule 38a-1 Chief Compliance Officer for variable products. Assists Chief Compliance Officer with delivering components of the Compliance Program,...

VP/Manager of Compliance

Nashville, TN
The Manager of Compliance - Asset Management executes responsibilities as both a strategic thinker and an individual contributor within the compliance team....
Manager, SEC and Financial Reporting
$130,000 - $150,000 a year
Experience with SEC reporting requirements and researching SEC reporting and technical issues, including all disclosures and MD&A....
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SEC / Financial Reporting Manager
Hill Country Search Advisors, LLC
Austin, TX 78746
$95,000 - $110,000 a year
Qualified SEC Manager candidates should have at least four (4) years of relevant Accounting and Financial Reporting experience, including significant exposure...
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